Investment Firms training.
In the investment sector, where firms are subject to strict regulatory oversight, ongoing staff training is not a tick-box exercise — it’s a regulatory expectation and a critical component of robust governance.
For investment firms operating in a heavily regulated environment, compliance training is essential to maintaining high standards of conduct, managing risk, and meeting regulatory expectations. With increasing scrutiny from regulators on governance, culture, and individual accountability, firms must demonstrate that employees understand their responsibilities and the regulatory framework they operate within. Regular, structured training helps embed a culture of compliance across the organisation — reducing the likelihood of breaches, misconduct, or operational failings that could lead to enforcement action or reputational damage.
Course overview
Easily track progress, monitor assessment results and automate reminders, ensuring clear compliance and measurable outcomes for your organisation.
- Understand what the FCA means by conduct
- Describe the approach that the FCA take to regulating conduct, and what this means to the firm that you work for
- Gain an understanding of how to manage client relationships
- Understand how to apply the rules to your role
- Define the terms ‘Dealing’ and ‘Managing’ and identify when you need to be aware of related rules
- Explain the main rules relating to ‘Dealing’ and ‘Managing’
- Apply those rules to your own job
- Define what is meant by a financial promotion
- Identify when you need to be aware of the rules relating to financial promotions
- Apply the rules to your own job on a day-to-day basis
- The purpose of the Market Abuse regime
- What the different types of Market Abuse offences are
- What your firm needs to do in order to comply with the regulations
- The penalties for committing an offence
- Understand RIA status and the requirements of registering as an RIA
- Understand key regulatory obligations for RIAs
- Understand ERA status and the requirements of being an ERA
- Understand key regulatory obligations for ERAs
- Understand what client money is
- Understand the CASS rules on how firms handle client money
- Understand what client safe custody assets are
- Understand the CASS rules on client safe custody assets
